RIMS Career Center

Position: Securities Compliance Examiner

Open and Close Dates: 03/24/2023 to 04/14/2023

Location: Boston, MA & Miami, FL

Salary: $92,575 - $195,991 per year

Job Link: https://www.usajobs.gov/job/715099500

Summary
The Division of Examinations is filling two positions for a Securities Compliance Examiner, SK-1831-12 or 13, one located in Boston, MA and one located in Miami, FL.

Conditions of Employment

• CITIZENSHIP: This position is open to US Citizens.

These positions are in the Division of Examinations in the Boston Regional Office located in Boston, MA and the Miami Regional Office located in Miami, FL.

If selected, you will join a well-respected team in the Division of Examinations that is responsible for the nationwide examination and inspection program for investment companies, investment advisers, broker-dealers, transfer agents, private equity and hedge funds, and/or other registered entities.

Typical Duties Include:

• Working as a member of a team of examiners with various levels of experience and professional backgrounds to conduct examinations of securities-related financial institutions registered with the SEC such as investment companies, investment advisers, broker-dealers, transfer agents, municipal advisors; private equity and hedge funds, and/or other registered entities;
• Evaluating possible risks and fraud by conducting research, reviews and analysis of a variety of internal and external documents and data sources related to compliance; conducting reviews of customer trading and securities holdings; reviewing firm marketing and business models; and developing recommendations and/or identifying deficiencies in assigned areas of specialization;
• Developing reports, correspondence, memoranda and other documents summarizing reviews, research and analysis related to registered entities' compliance with the federal securities laws; presenting and defending findings, and collaborating as required with legal staff;
• Initiating and conducting consultations with staff of the Division of Examinations and other SEC divisions and offices on issues, which present difficult questions of fact and law or policy that require review and consultation before being presented for final action; and
• Executing risk-based examination plans, which frequently involves: (i) analyzing a financial institution's operations and procedures, sales practices, supervisory systems, books and records, and financial statements, (ii) reviewing investigatory complaints, (iii) investigating new financial products, (iv) examining specialized securities, (v) interviewing principals of registrants, and/or (vi) analyzing performance calculations to assess the level of compliance with federal securities laws and/or self-regulatory requirements.

Additional information and the link to the application can be found here: https://www.usajobs.gov/job/715099500